Trade Monitoring/Surveillance

SEC Rule 22c‑2 is a resource-intensive regulation that is very difficult to manage in-house without tools for (a) automating and adjusting sales monitoring thresholds, (b) managing non-standard sales feeds from intermediaries, and (c) storing and retrieving data for future audit needs. But tools are only one part of the equation. Firms also need compliance professionals who are expert in leveraging these tools and adept at investigating potential violations.